Stacey L. Sargent
Professional summary
Stacey Lynn Sargent, CFP®, who also goes by Stacey L Sargent, Stacey Spear, is a registered financial advisor currently at CHICAGO CAPITAL, LLC located in Chicago, Illinois.
Stacey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Stacey has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stacey Lynn Sargent's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2018 - Present
CHICAGO CAPITAL, LLC
Office #1: 135 S. Lasalle Street Suite 4200, Chicago, IL 60603March 17, 1998 - March 14, 2018
WILLIAM BLAIR
February 2, 1996 - March 27, 1998
AMERIPRISE ADVISOR SERVICES, INC.
June 1, 1995 - February 2, 1996
HOWE BARNES HOEFER & ARNETT, INC.
Primary Firm SEC Registration
CHICAGO CAPITAL, LLC
CRD#: 291624 / SEC#: 801-112280
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/4/2018)
(4/4/2018)
Exams
Series 8
Date: 4/16/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHICAGO CAPITAL, LLC
CRD#: 291624 / SEC#: 801-112280
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,058 |
| AUM (Assets Under Management) | $ 4,477,490,797 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/08/2025 |
Red Flags
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